FINRA Business Continuity Plan Template for Small Introducing Firms

The FINRA Business Continuity Plan (BCP) Template for Small Introducing Firms is an optional template provided to assist small introducing firms meet their business continuity plan requirements (BCP) under FINRA Rule 4370.  The template is simply a guideline and does on ensure compliance with FINRA Rule 4370 as each firm must create a business continuity plan that suits their individual situation and needs.  Members also downloaded Small Firm Investment Adviser Business Continuity Plan (BCP) or Statement of Periodic Testing of BCP & Regulation S-P or Broker-Dealer Small Firm Cybersecurity Procedures.

Version/Update: V.U/March 2024

Total Page Count/Format: 15/.pdf

Source/Author(s): FINRA